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Organization TypeLaw Firm
Years of Experience
Date Last Verified
Compliance Consultant The candidate will be responsible for On-the-job training. Assist in heavy client contact, legal research and document drafting. Leading RIAs and their representatives through the SEC and/or state registration process. Completing required regulatory annual filings. Creating and/or revising RIA disclosure documents, advisory agreements, and compliance documents. Reviewing marketing materials and/or drafting employment agreements. Formation of legal entities. Should have Bachelorâ€™s Degree. Business Major, Finance Major, Accounting Majors, Marketing Majors a plus, and/or Paralegal Certificate from an ABA Certified program with 1 â€“ 2 yearsâ€™ experience in the securities industry preferred. Should have knowledge of Series 6, or Series 7, and/or Series 24, Series 66 or Series 65 optional (we can hold securities licenses). Working knowledge of Investment Adviser's Act, 1940 Act (Investment Company Act), other securities regulations and FINRA / SEC Rules preferred. Expertise in the Microsoft Office Suite * Strong attention to detail, responsiveness and ability to take initiative. Ability to prioritize and handle numerous competing demands in a high-volume, fast-paced work environment with frequent urgent deadlines. Ability to work independently or as a team member, and manage projects and time efficiently. Should possess a professional manner and judgment to enable a good working relationship with clients and co-workers. Excellent communication, organizational and interpersonal skills.
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